ADMISSIONS

MEMBERSHIPS

EDUCATION

Thomas R. Westle

Partner

New York, NY

v. +1.212.885.5239

f. +1.917.332.3817

Thomas Westle focuses his practice on corporate and securities law. He has extensive experience in legal issues relevant to registered and unregistered investment companies and investment advisers. His client services include:

registration, regulation, and governance of investment companies including open-end, closed-end, and business development companies as well as investment advisers

creation and organization of private investment funds and hedge funds

representation of independent Boards of Directors / Trustees

preparation of SEC exemptive applications and no-action letters

financing transactions relating to mutual funds

representation of investment companies in SEC enforcement actions

Mr. Westle is frequently quoted in the financial press on mutual fund and hedge fund issues, and has appeared on CBS' Marketwatch radio program as well as Bloomberg Television.

Mr. Westle was ranked as a “2013 Top Rated Lawyer in Securities Law” by American Lawyer Media, in conjunction with Martindale-Hubbell, in the September issue of The American Lawyer & Corporate Counsel magazine.

Alpine Total Dynamic Dividend Fund (NYSE: AOD), the largest closed-end fund IPO in U.S. equity markets’ history, and the New York Stock Exchange’s (NYSE) sixth largest IPO ever. The transaction was valued at $4.04 billion.

Alpine Woods Capital Investors, LLC in the successful pricing of its first closed-end fund offering. The fund, named the Global Dynamic Dividend Fund, trades on the NYSE under the ticker symbol AGD. The transaction was valued at $476 million.

Cornerstone Progressive Return Fund (AMEX: CFP) in its initial public offering. The transaction was valued at $140 million.

COMMUNITY SERVICE & AFFILIATIONS

Mr. Westle served as Chairman of the New York State Board of Easter Seals (2007‒2008), and continues to serve as a member of the Board of the New York State Board of Easter Seals, and as a member of the Hudson Valley Operations Board of Easter Seals, and the New York City Operations Board of Easter Seals.

RECOGNITIONS

AV Preeminent®, listed in Martindale-Hubbell®

2013, “Top Rated Lawyer in Securities Law” listed in the September issue of The American Lawyer & Corporate Counsel magazine

A description of the standard or methodology on which the accolades are based can be found here.

No aspect of this advertisement has been approved by the Supreme Court of New Jersey.